Sound Practices for Preventing and Detecting Unauthorized Proprietary Trading
Net Capital
Liquidity Risk Management
Credit Risk Management
Segregation of Assets and Customer Protection
Portfolio Margin and Intraday Trading NEW FOR 2022
Previous:
Market Access Rule
Up:
Financial Management
Next:
Net Capital
Every member that is a party to a security-based swap with a customer, broker or dealer, or other Counterparty, or who has guaranteed or otherwise become responsible for any other person’s SBS obligations, shall comply with the following requirements, except that a member that is registered as a security-based swap dealer under Exchange Act section 15F shall instead comply with SEA Rule 18a-3.
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, May 20, 1996. The information relating to matters contained in this section is current as of May 5, 1996. Information received subsequent to May 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Devon Resources Financial Corporation (Tulsa, Oklahoma), Catherine W. Yox (
1. When will the Annual Review be available?The Annual Review period is the first 17 business days of the calendar year. The Annual Review section will be available during that time and until the firm completes it.2. Where can I find the Annual Review submitted by my firm?One of the reports available in the FCS Reports section is the Annual Review Report. This report provides the Contacts and
You not regulators should be able to choose the public investments that are right for you and your family. Public investments should be available to all of the public, not just the privileged. It is very important that you express your views in your own wordsyour comments are more likely to be taken seriously by FINRA if they reflect your own experience and perspective. Not only do you have the
« Previous: How to Apply
The Membership Application Program (MAP) Group has a dedicated front-line team of examiners (the Triage Group) to conduct an initial assessment of each New Member Application, Continuing Membership Application, Materiality Consultation, Membership Agreement Change and Two Principal Waiver.
During this initial assessment, the Triage Group
Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
In 2019, FINRA assessed firms’ senior investor protection programs, including their implementation of the FINRA Senior Exploitation Rules. In particular, FINRA evaluated how firms addressed risks relating to senior investors in their policies and procedures; gathered trusted contact person information; developed training relating to senior investors; implemented systems to escalate financial
